Compliance Officer

Stock Bazaar; Delhi; On-site; INR 1,800,000 - 3,200,000; Full time

Job summary

Stock Bazaar, a market data and research platform serving Indian retail investors, seeks a compliance professional to own the SEBI and regulatory function. You will ensure alignment with SEBI regulations, company law and the obligations that come with distributing market data and research.

You will implement internal controls, file regulatory returns, liaise with regulators, and maintain statutory records under the Companies Act 2013, while guiding product teams on compliance.

Qualifications

• Qualified Company Secretary (CS) and LLB — both mandatory.
• Minimum 3 years of post-qualification experience in a compliance role.
• SEBI-related compliance experience is mandatory — hands-on, not theoretical.
• Working knowledge of the Companies Act, 2013 and SEBI regulations.
• Experience preparing regulatory filings and maintaining statutory records.
• Strong drafting skills in English.
• Ability to work independently in a lean team.

Responsibilities

• SEBI and regulatory compliance: ensure adherence to SEBI regulations, circulars and guidelines.
• Track regulatory developments affecting market data, research distribution and investor-facing platforms.
• Prepare and file periodic regulatory returns and disclosures.
• Liaise with SEBI, exchanges and other regulators on queries, inspections and correspondence.
• Maintain statutory registers, minutes and records under the Companies Act 2013.
• Convene and record Board and shareholder meetings, including notices, agendas and resolutions.
• File returns and forms with the MCA and Registrar of Companies.
• Support corporate actions, share allotments and related filings.
• Draft, maintain and update internal compliance policies, including the Code of Conduct, insider trading policy and research disclosure norms.
• Conduct internal compliance reviews and maintain audit trails.
• Run compliance training and awareness sessions for employees.
• Review marketing, research and platform content for regulatory accuracy.

Skills

Drafting skills

Regulatory compliance

Independent work

English proficiency in drafting

Education

Company Secretary (CS) qualification

LLB

Job description

Stock Bazaar is a market data and research platform serving Indian retail investors. As we scale, you'll own the compliance function — keeping us aligned with SEBI regulations, company law and the obligations that come with distributing market data and research.

Key responsibilities

SEBI and regulatory compliance

• Ensure compliance with applicable SEBI regulations, circulars and guidelines
• Track regulatory developments affecting market data, research distribution and investor-facing platforms
• Prepare and file periodic regulatory returns and disclosures
• Liaise with SEBI, exchanges and other regulators on queries, inspections and correspondence

Secretarial and corporate

• Maintain statutory registers, minutes and records under the Companies Act, 2013
• Convene and record Board and shareholder meetings, including notices, agendas and resolutions
• File returns and forms with the MCA and Registrar of Companies
• Support corporate actions, share allotments and related filings

Policy and internal controls

• Draft, maintain and update internal compliance policies, including the Code of Conduct, insider trading policy and research disclosure norms
• Conduct internal compliance reviews and maintain audit trails
• Run compliance training and awareness sessions for employees
• Review marketing, research and platform content for regulatory accuracy

Stock Bazaar is a market data and research platform serving Indian retail investors. As we scale, you'll own the compliance function — keeping us aligned with SEBI regulations, company law and the obligations that come with distributing market data and research.

Key responsibilities

SEBI and regulatory compliance

• Ensure compliance with applicable SEBI regulations, circulars and guidelines
• Track regulatory developments affecting market data, research distribution and investor-facing platforms
• Prepare and file periodic regulatory returns and disclosures
• Liaise with SEBI, exchanges and other regulators on queries, inspections and correspondence

Secretarial and corporate

• Maintain statutory registers, minutes and records under the Companies Act, 2013
• Convene and record Board and shareholder meetings, including notices, agendas and resolutions
• File returns and forms with the MCA and Registrar of Companies
• Support corporate actions, share allotments and related filings

Policy and internal controls

• Draft, maintain and update internal compliance policies, including the Code of Conduct, insider trading policy and research disclosure norms
• Conduct internal compliance reviews and maintain audit trails
• Run compliance training and awareness sessions for employees
• Review marketing, research and platform content for regulatory accuracy

Requirements

Risk and advisory

• Advise management on the regulatory implications of new products and features
• Identify compliance risks early and recommend mitigation
• Manage relationships with external legal counsel and auditors

Requirements

• Qualified Company Secretary (CS) and LLB — both mandatory
• Minimum 3 years of post-qualification experience in a compliance role
• SEBI-related compliance experience is mandatory — hands-on, not theoretical
• Working knowledge of the Companies Act, 2013 and SEBI regulations
• Experience preparing regulatory filings and maintaining statutory records
• Strong drafting skills in English
• Ability to work independently in a lean team

Good to have

• Experience in the stock market, broking, research analyst or market data industry
• Familiarity with the SEBI (Research Analysts) Regulations
• Exposure to a startup or high-growth environment
• NISM certification